Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Private Equity

OCIE Issues Alert on the Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers

Investment Advisers, Private Equity The SEC’s Office of Compliance Inspections and Examinations, or OCIE, has published a list of the five compliance topics most frequently identified in deficiency letters that are sent to SEC-registered investment advisers. Within each of these topics, OCIE includes a few examples of typical deficiencies to highlight the risks and issues that examiners commonly identify. […] Read more →

by   |   February 8, 2017

Pay-to-Play Enforcement Sweep Snares Private Equity and Venture Capital

Litigation, Private Equity On January 17, 2017, the SEC announced nine settled enforcement actions for violations of the pay-to-pay rule against private equity, venture capital and hedge fund sponsors. The... Read more →

by   |   January 20, 2017

House Passes Creating Financial Prosperity for Businesses and Investors Act

Broker-Dealer, Consumer Protection, Crowdfunding, Investment Advisers, Private Equity On Monday, the House of Representatives passed the Creating Financial Prosperity for Businesses and Investors Act (H.R. 6427) (the “Act”) by a vote of 398 to 2. The Act is... Read more →

by   |   December 6, 2016

SEC Charges Private Equity Advisor with Conflicts for Law Firm Discounts

Investment Advisers, M&A, Private Equity In a settled enforcement action, the SEC charged a private equity advisor, First Reserve Management, L.P., with conflicts of interest and other matters. First Reserve did not... Read more →

by   |   September 15, 2016